Cases
Experience: SEC Enforcement: Jason has h
led investigations
litigation arising out of every SEC Regional Office
the SEC's Home Office in Washington, DC. He interacts with SEC staff on a nearly daily basis
has h
led numerous high profile SEC matters in Texas
around the country.
Obtained jury verdict finding no liability for client on all fraud-related securities
unregistered securities claims brought by the SEC after an eight-day jury trial. Lead trial counsel in SEC enforcement action against former CEO
Chairman of Servergy, Inc. Also charged in the SEC's action was Texas Attorney General Ken Paxton for allegedly recruiting investors while hiding that he was being compensated to promote the company's stock. SEC v. William E. Mapp, III, No. 4:16-cv000246, In the Eastern District of Texas (Jury verdict returned on December 13, 2017).
Obtained summary judgment against the SEC in an insider trading case brought against the Chairman of the Board of consumer financial services provider. SEC v. Powell, Civil Action No. 6:11-CV-161-WSS (W.D. Tx. Opinion dated Oct. 11, 2012).
Obtained dismissal of SEC lawsuit against the former CEO
COO of the Ticket Reserve Inc. The SEC obtained a receiver over the company
brought the action against the executives under the scheme liability provisions of the federal securities fraud laws based upon a $33 million fraudulent solicitation of investments by a Ticket Reserve board member from his clients, most of whom are professional athletes. The case was subsequently settled. SEC v. Narayan et al ., Civil Action No.: 3:16-cv-1417-M, (N.D. Tx. Opinion dated August 28, 2017).
Obtained denial of SEC Preliminary Injunction application against Pacific West Capital Group
its CEO in the Central District of California. SEC v. Pacific West Capital Group, Inc ., et al, 2:15-cv-02563-FMO-FFM, In the United States District Court, Central District of California (June 2015).
Obtained termination letter from SEC for a senior executive of a publicly-traded oil field service company closing its nine month insider trading investigation relating to a proposed merger announcement. (2016)
Obtained termination letter from SEC closing its nearly three-year insider trading investigation of a senior officer of a publicly-traded technology company. (2016)
Obtained termination letter from SEC closing its nearly two-year investigation into alleged FCPA violations in Asia by publicly-traded gaming company. (2015)
Obtained termination letter from SEC closing its 14-month insider trading investigation into alleged insider trading
tender offer violations against an attorney
investor of a publicly-traded bank. (2014)
Obtained termination letter from SEC closing its two-year investigation into alleged insider trading allegations against CEO of publicly-traded energy company. (2013)
Obtained termination letter from SEC closing its 12-month investigation into registration
anti-fraud allegations against international fund
its principals. (2012)
Obtained termination letter from SEC closing its 18-month investigation into alleged anti-fraud violations against publicly-traded software company
its CEO. SEC brought enforcement action against several other individuals as a result of its investigation. (2009)
Representing three individual defendants in SEC litigation brought in federal court in Arizona related to an alleged pump
dump scheme to manipulate the market of Crown Dynamics Corp. SEC v. Zouvas, et al ., No. CV-17-00427-PHX-SPL, District of Arizona. (2017)
Representing former CFO of medical device company in a strict liability Sarbanes-Oxley Section 304 executive claw-back action brought by the SEC. SEC v. Michael Gluk, Civil Action No. 1:12-C V-285-SS, In the Western District of Texas, Austin Division.
Obtained favorable settlement for former director of oil field services company after three-year investigation
litigation by SEC related to alleged insider trading allegations. Obtained a discovery sanction award against the SEC during pretrial litigation. SEC v. Robert L. Hollier
Wayne A. Dupuis, Civil Action No. 6:09-cv-00928 (W.D. La. 2011).
Obtained favorable settlement for high-net worth individual
company related to allegations of a fraudulent tender offer brought by the SEC in the Southern District of New York. SEC v. Luis Chang
Everbright Development Overseas, Limited, Civil Action No. 14 4132 (ER) (S.D.N.Y. 2015).
Represented Chairman of publicly-traded financial services company in two-year SEC investigation. Client was not charged while four other executives
board members entered into settled actions with the SEC. (2012 - 2015)
Represented Southlake Resources
its President in settled SEC action related to the offer
sale of interests in oil
gas joint ventures. SEC v. Southlake Resources Group, LLC, et al ., Civil Action No. 16-cv-4:16-00992 (N.D. Tex. Oct. 24, 2016)
Represented former CEO
Chairman of publicly-traded energy company in settled action brought by the SEC in the Western District of Oklahoma. SEC v. Jerry D. Cash, case number 09-cv-00639, in the U.S. District Court for the Western District of Oklahoma (W.D. Okla. 2009).
Securities Class Action
Litigation: Obtained dismissal with prejudice of all claims against Whole Foods Market, Inc.
its executive management in putative class action on behalf of investors in WFM stock between July 31, 2013,
July 29, 2015, alleging that WFM
certain executives violated Section 10(b)
Rule 10b-5 by making material misrepresentations that obscured weights
measures violations in California
New York City stores. Markman v. Whole Foods Market, Inc., et al., No. 1:15-cv-681-LY, (W.D. Tx. Opinion dated August 25, 2017).
Represented the former CFO of ArthroCare Corp. in securities class action amid accusations that material misrepresentations led to a restatement of financial results. Also represented former CFO in federal
state derivative suits alleging a breach of fiduciary duty. In re ArthroCare Securities Litigation, (U.S. District Court for the Western District of Texas, Austin Division).
Lead counsel for Pacific West Capital Group
its owner
president in putative class action brought by purchasers of fractional interests in life settlements through Defendant Pacific West Capital Group, Inc., alleging violations of the California Corporate Securities Act
common law negligence, fraud,
related claims
breach of contract
other California statutory causes of action. Shechter, et al. v. Pacific West Capital Group, Inc. et al., Case No. BC-621512, Superior Court, County of Los Angeles.
Represented former Chairman of the Board of Penson Worldwide, Inc., in breach of fiduciary duty litigation brought by the liquidating trust in Texas State Court. Penson Technologies LLC
its Chief Officer, acting in his capacity as representative of the bankruptcy estates of Penson Worldwide, Inc., et al. vs. Philip A. Pendergraft, Roger J. Engemoen, Jr., David M. Kelly, James S. Dyer, David Johnson, David A. Reed, Kevin McAleer,
Thomas R. Johnson
Cause No. CC-14-00873-C, in the County Court at Law No. 3, Dallas County, Texas.
Represented former CEO
Chairman alleging violations of Section 10(b) of the Exchange Act, in suits by two independent classes, based on an alleged off-the-books loan
check-kiting scheme, as well as in several state
federal derivative suits alleging a breach of fiduciary duty. Friedman v. Quest Energy Partners LP,
Jents v. Quest Resource Corporation, (U.S. District Court for the Western District of Oklahoma, Oklahoma City Division).
Lead counsel for former CEO
Chairman of Servergy, Inc. with regard to allegations of violations of the Alabama
Texas Securities Acts, among other causes of action. Breslin, et al. v. Servergy, et al., Cause No. DC-16-01483, in the 101st Judicial District Court of Dallas County, Texas.
Represented German private equity firm in minority shareholder dispute with publicly-traded U.S. technology company.
White Collar Criminal Matters: Lead trial counsel for former CFO of publicly-traded medical device company in 18-day federal criminal securities fraud trial alleging nearly $1 billion in investor losses. S.A. v. Baker, Criminal Action No. 1:13-CR-346-SS, In the Western District of Texas, Austin Division. (2015) Conviction was reversed
rem
ed by the Fifth Circuit in 2016. After initially receiving a sentence of 120 months, the former CFO was ultimately sentenced to 50 months after entering into a favorable plea with the government.
Representing numerous current
former employees of publicly-traded MSB in DOJ investigation.
Represented former lead systems engineer at a Dallas technology firm charged with embezzling $2.4 million from the company by causing it to place orders with fictitious businesses he created
using the funds for his own use. USA v. Chang, Case No. 3:16-cr-00329, In the U.S. District Court for the Northern District of Texas.
Represented publicly-traded oil field services company in Department of Justice FCPA investigation relating to issues in Nigeria, Kazakhstan, Colombia
Mexico.
Obtained cautionary letter from OFAC for Hollywood actor resulting from travel to Cuba.
Represented former CEO
Chairman of energy company relating to USAO investigation in the Western District of Oklahoma.
Represented individual relating to alleged billion-dollar gambling operation in DOJ investigation. Obtained probation with no jail time.
Represented Texas based energy company
its principals for alleged criminal securities fraud brought by Butler County Prosecutors Office in Butler County, Ohio.
Defended individual from criminal violations
obtained civil settlement with no criminal action in alleged structuring case investigated by U.S. Attorney's Office for the Eastern District of Texas
IRS CID.
Representing key witness relating to a criminal indictment of a Texas government official.
Internal Investigations: Conducted internal whistleblower investigation for publicly-traded international building manufacturer.
Conducted internal investigation for market analysis
intelligence firm regarding potential insider trading.
Conducted internal investigation for financial services company relating to potential misconduct
kickbacks between financial advisor
county official.
Conducted special committee investigation for regional bank regarding potential securities violations
bank fraud.
Conducted internal investigations for publicly-traded energy company involving financial reporting.
Conducted internal investigation for energy company regarding FCPA
export control issues.
Various Representations: Represented former Major League Baseball manager Ron Washington in his separation with the Texas Rangers.
Obtained dismissal of plaintiff's putative class action claim against RLS Supermarkets, Inc. alleging RLS had violated the Fair
Accurate Credit Transactions Act ( FACTA ) by printing his credit card's expiration date on his receipt. The district court concluded that Plaintiff lacks constitutional st
ing to sue because the inclusion of his card's expiration date is not a concrete injury,
consequently dismissed for lack of subject matter jurisdiction. Plaintiff has appealed to the Fifth Circuit. Batra v. RLS Supermarkets, Inc., No. 3:16-cv-02874-B (N.D. Texas Opinion dated August 9, 2017).
Represented former executives against allegations of breaching fiduciary duty, usurping corporate opportunities,
sharing confidential
proprietary information in competition with former employer.
Represented former CFO of publicly-traded restaurant chain in separation with company.
Obtained summary judgment with regard to multimillion-dollar breach of contract claim for financial services company.
Represented financial services company in class action, multi-district litigation
opt-out litigation.
The above representations were h
led by Mr. Lewis prior to his joining Greenberg Traurig, LLP.
Noteworthy Experience: Enforcement Attorney, Securities
Exchange Commission, 2004-2007
